The Washington Salesperson Form (U4) is an employment form required by the Washington State Department of Financial Institutions. It is used to register employees of securities broker/dealers, investment advisers, and other related financial institutions in the state of Washington. The form is also used to notify the Department of any change in the registration status of the employee. The Washington Salesperson Form (U4) comprises two types: the "Uniform Application for Securities Industry Registration or Transfer" and the "Uniform Termination Notice for Securities Industry Registration." The Uniform Application is used to register new employees, while the Uniform Termination Notice is used to notify the Department of any change in the registration status of the employee. Both forms are available for download from the Washington State Department of Financial Institutions' website.
Washington Salesperson Form (U4)
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How to fill out Washington Salesperson Form (U4)?
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FAQ
A Form U4 filed on behalf of an individual that has been FINRA-registered with another broker-dealer within 30 calendar days should complete all applicable sections with the exception of Section 9 (Identifying Information/Name Change), Section 10 (Other Names), Section 11 (Residential History), Section 12 (Employment
Marital status and vacation home address are not items of information on Form U-4.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
Bankruptcies, Liens, & Judgments. Do you have any unpaid judgments or liens, or have you filed for bankruptcy or reached a settlement with creditors?Update Your Address.Disclosures Involving Criminal Cases.Customer Complaints.Removing An Existing Disclosure.
The Form U4 requires registered representatives to disclose if they have ever been ?convicted of or pled guilty or nolo contendere (?no contest?) in a domestic, foreign, or military court to any felony? or if they have been ?charged with any felony.? The Form U4 also requires the disclosure of any conviction, guilty
Retrieving & Reviewing Form U4 Once your firm has sent a Form U4 filing to you for e-signature, a yellow banner will display in FinPro's Reminders section with a link to the filing. After clicking the Open Filing link, the filing will open read-only in another browser tab.
The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs.
This Bylaws section grants folks up to 30 days to amend their Form U4 after learning of the facts giving cause to make an amendment, but if the amendment involves a statutory disqualification, then it must be filed within 10 days, as opposed to 30 days.